Compliance Surveillance Analyst -
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Waddell & Reed, Inc. -
Overland Park, KS
Conduct surveillance of financial advisor and firm securities sales and investment advisory activities through the use of exception reports and other resources to identify and resolve compliance and regulatory issues. Provide guidance and training to advisor, Managing Principal, and RVPs regarding compliance policies and procedures and regulatory rules and policies. Responsibilities 1. Review exception reports, gather supporting documentation, and request suitability information from supervisors
From Waddell & Reed, Inc. -
30+ days ago
Compliance Surveillance Analyst jobs in Overland Park, KS
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Choice Compliance Surveillance Analyst
Waddell & Reed, Inc. - Overland Park, KSConduct surveillance of Choice financial advisors and firm securities... to identify and resolve compliance and regulatory issues. Provide guidance...From Waddell & Reed, Inc. - today - save job more...
Waddell & Reed, Inc. jobs
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Assistant Portfolio Manager
Waddell & Reed, Inc. - Overland Park, KSAssistant Portfolio Manager sought by Waddell & Reed Investment Management Co. (Overland Park, KS) to assist in the development and execution of overa...From Waddell & Reed, Inc. - today - save job more... -
Senior Specialist WRAP
Waddell & Reed, Inc. - Overland Park, KSThe primary responsibility of this position is to serve as a supervisory principal for W&R Investment Advisor Representatives' (IAR) WRAP account busi...From Waddell & Reed, Inc. - today - save job more... -
Strategic Sourcing Manager
Waddell & Reed, Inc. - Overland Park, KSWaddell & Reed is looking for a Strategic Sourcing Manager who will work directly with IT, business stakeholders, and other team members to develop an...From Waddell & Reed, Inc. - today - save job more...
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